Regulation

The U.S. Supreme Court signaled it may tighten the time limits that apply when the Securities and Exchange Commission and other government agencies seek to impose fines on people and companies accused of fraud.

Newly appointed Securities and Exchange Commission Chairman Elisse Walter this week unveiled the agency’s General Counsel in the form of Geoffre Aronow, who will begin his new role later this month.

A former Morgan Stanley complex manager who felt he was forced to resign is set to receive $1 million in compensatory damages from the firm, according to a new ruling from an arbitration panel.

The agency has asked firms to comment on a proposed rule and some potentially divisive modifications.

Wall Street brokers who are lured to new firms with signing bonuses of at least $50,000 would be required to tell their clients under a rule proposed by the Financial Industry Regulatory Authority.

Tax forms from the federal government and many states may be delayed in the aftermath of the fiscal cliff legislation, one of the largest tax preparation chains warned.

There's nothing quite like the feeling of coming out from under a guardian's wing.

Advisors anticipate some additional tax questions and continued concern for clients in the high net worth bracket.

President Barack Obama had a warning for John Boehner at a Dec. 13 White House meeting: Stop opposing higher tax rates for top earners, or the president would dedicate his second term to blaming Republicans for a global recession.

Bruce Karpati, chief of the Securities and Exchange Commission’s enforcement division's asset management unit, has a few choice words for hedge funds looking to get into the mutual fund space.